Rule 3a-7 definition

Rule 3a-7 means Rule 3a-7 under the Investment Company Act.

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Rule 3a-7 means Rule 3a-7 under the Investment Company Act or any successor rule thereunder.

Rule 3a-7. Rule 3a-7 of the Investment Company Act, as then in effect (or any successor rule).

Examples of Rule 3a-7 in a sentence

• In addition, the Trustee shall satisfy the requirements for a trustee contemplated by clause (a)(4)(i) of Rule 3a-7 under the Investment Company Act.

• In making this determination, the Issuer is relying on the exemption in Rule 3a-7 of the Investment Company Act, although other exclusions or exemptions may also be available to the Issuer.

• In making this determination for the Trust, the Trust is relying on the exemption in Rule 3a-7 of the Investment Company Act of 1940, although other exclusions or exemptions may also be available to the Trust.

• The Trust will be relying upon Section 3(c)(5) of the Investment Company Act or Rule 3a-7 under the Investment Company Act as a basis for it not registering under the Investment Company Act.

• In reaching this conclusion, although other statutory or regulatory exclusions or exemptions under the 1940 Act or the ▇▇▇▇▇▇▇ Rule may be available, the Seller has relied on the exclusion from registration set forth in Rule 3a-7 under the 1940 Act.

More Definitions of Rule 3a-7

Rule 3a-7 means Rule 3a-7 under the Investment Company Act. “Securities” means the Common Securities and the Capital Securities.

Rule 3a-7 means Rule 3a-7 promulgated under the Investment Company Act or any successor rule thereunder.

Rule 3a-7. Rule 3a-7 under the 1940 Act.

Rule 3a-7 means Rule 3a-7 under the Investment Company Act or any successor rule thereunder, or any change in interpretation or application of such Rule by any legislative body, court, government agency or regulatory authority, including without limitation, the Commission.

Rule 3a-7. Rule 3a-7 promulgated under the Investment Company Act.

Rule 3a-7 means Rule 3a-7 under the Investment Company Act. “Securities” means the Common Securities and the Trust Preferred Securities.

Rule 3a-7. (or other applicable rule or exemption) under the Investment Company Act of 1940, as amended, and all applicable rules, regulations and interpretations thereunder and (ii) such exchange would not affect the characterization of the Trust as a "grantor trust" for federal income tax purposes. Such terms may relate to, but are not limited to, the following: